Thomas A. Barrett
Professional summary
Thomas Andrew Barrett is a registered financial advisor currently at VIVALDI CAPITAL MANAGEMENT LP located in Fishers, Indiana.
Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Thomas has worked at 3 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Andrew Barrett's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 21, 2024 - Present
VIVALDI CAPITAL MANAGEMENT LP
Office #1: 11634 Maple Street, Suite 300, Fishers, IN 46038July 16, 2007 - February 21, 2025
BIECHELE ROYCE ADVISORS, INC.
April 21, 2003 - July 12, 2007
A. G. EDWARDS & SONS, INC.
April 10, 2003 - July 12, 2007
A. G. EDWARDS & SONS, INC.
Primary Firm SEC Registration
VIVALDI CAPITAL MANAGEMENT LP
CRD#: 160150 / SEC#: 801-73024
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(11/21/2024)
Exams
Current Firm
VIVALDI CAPITAL MANAGEMENT LP
CRD#: 160150 / SEC#: 801-73024
Contact information
SEC notice filing (45 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,413 |
| AUM (Assets Under Management) | $ 4,647,085,822 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/22/2024 | ||
| 10/24/2023 | ||
| 07/26/2022 |
Red Flags
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